Reports

Procedure CAP004M
Contract Administration System
(CAS) Manual
March 2010

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Department of Transport and Main Roads

Contract Administration System

Procedure - CAP004M
Reports

TABLE OF CONTENTS
1

INTRODUCTION .......................................................................................................... 1
1.1
1.2
1.3
1.4

Purpose ............................................................................................................................. 1
Scope ................................................................................................................................ 1
Definitions, Abbreviations and Acronyms .......................................................................... 1
General .............................................................................................................................. 2

MONTHLY REPORTS .................................................................................................. 2

2.1
Superintendents Monthly Report ...................................................................................... 2
2.2
Environmental Report ........................................................................................................ 3
2.3
Cultural Heritage Report .................................................................................................... 3
2.4
Contract Performance Report............................................................................................ 3
2.4.1 Information required for the monthly report ................................................................... 3

TERMINAL REPORTS ................................................................................................. 4

3.1
3.2
3.3
3.4
3.5
3.6

OTHER REPORTS ....................................................................................................... 7

4.1
4.2

Post-Construction Report .................................................................................................. 7

Principals Quarterly Report............................................................................................... 8

SURVEILLANCE REPORTING.................................................................................... 8
5.1
5.2

Performance Report on Design Consultant ....................................................................... 4

Performance Report on Contract Administrators............................................................... 4
Maintenance Report .......................................................................................................... 5
Superintendents Final Report ........................................................................................... 5
Asphalt Supplier Performance Report ............................................................................... 6
Road Safety Audit Report .................................................................................................. 6

Review and Reporting General ...................................................................................... 8

Performance Measurement of Surveillance ...................................................................... 9

REFERENCE DOCUMENTS........................................................................................ 9

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Procedure CAP004M
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Department of Transport and Main Roads

Contract Administration System

INTRODUCTION

1.1

Purpose

Procedure - CAP004M
Reports

The purpose of this procedure is to obtain a consistent approach to the provision of reports required under a
Road Construction Contract (RCC) and by the department, through policies or other procedures.

1.2

Scope

The scope of the procedure is to provide the framework necessary to allow the Superintendent and the
surveillance team to complete the required reports to the necessary standard and on time.

1.3

Definitions, Abbreviations and Acronyms

Abbreviation

Description

CAR

Corrective Action Request

Contractor

Is the person identified as the Contractor in the contract

Date for Practical

Completion

Where the Annexure provides a date for Practical Completion that date, where the
Annexure provides a period of time for Practical Completion, the last day of the
period.

Date of Practical
Completion

The date certified by the Superintendent in a certificate of Practical Completion

issued pursuant to Clause 42.5 of the GCoC to be the date upon which Practical
Completion was reached.

Department /
Departmental

Department of Transport and Main Roads

Designer/Design
Consultant

Person or firm who undertakes the design (for RCC the design is prepared by the
Principal who may have a firm undertaking this work). Designer also has a
specific meaning under WHS legislation.

DRR

Design Review Request (Where there is some design by the Contractor)

E(PUP)

Engineer (Public Utility Plant)

EMP / EMP (C)

Environmental Management Plan which may include the EMP- Planning or the
EMP Construction depending upon the context of the text.

EOT

Extension of Time

LD

Liquidated Damages

MRPDS

Main Roads Project Delivery System

MRTS

Main Roads Technical Standards

NCR

Non-conformance Report

PM

Project Manager appointed by the Principal to manage the overall project of

which the RCC may be one of a number of separate contracts under the project.

Practical
Completion

Is that stage in the execution of the work under the Contract where the Works are
able to be handed over to the Principal

Principal

Is the Principal stated in the Annexure (state of Queensland acting through the
department)

RCC

Road Construction Contract

RSAR

Road Safety Audit Report

SSP

Superintendents Surveillance Plan

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Reports

Department of Transport and Main Roads

Contract Administration System

Superintendent

The person appointed as the Superintendent by the Principal

VO

Variation Orders

1.4

General

This procedure is mandatory for all RCCs to the extent that the reports detailed are applicable to the specific
contract. Sections of this procedure may also be useful for other types of contracts such as Roadworks
Performance Contracts and Minor Works Contracts.
During the execution of a Contract, the Superintendent is required to prepare and forward monthly and
terminal reports. In addition to the reports listed below, there may be other reports required for regional
requirements or for a specific contract, for example, where this department may be involved with another
department in the delivery of a project with separate or different reporting processes.
Monthly reports include the following:

Superintendents Monthly Report (CAF007M)

Environmental Monthly Report 1(CAF008M)

MRPDS, Volume 3 Major Works Prequalification System, Appendix G, Performance Assessment

Form (Form C6876)

Terminal reports which should be forwarded after reaching the practical completion include:

MRPDS, Volume 3 Major Works Prequalification System, Appendix G, Performance Assessment

Form (Form C6876)

Performance Report Consultant on Engineering Projects, Part B, After Completion of Construction

(C7563)

Maintenance Report (CAF009M)

Superintendents Final Report (CAF010M)

System for Registration of Approved Asphalt Suppliers, Appendix L, Attachment 1, Asphalt Supplier
Performance Report Form (Form MAS208)

Road Safety Audit Policy and Guidelines, Appendix B RSA Report Template Pre-Opening,
Construction and Existing Road Stages

The following two reports should be prepared by the Project Manager with input by the Superintendent and
are included here for information for the Superintendent:

Post Construction Report (CAF012M)

Principals Quarterly Report (CAF011M)

MONTHLY REPORTS

2.1

Superintendents Monthly Report

The Superintendents Monthly Report (CAF007M) provides the Project Manager with information on
developments within the Contract. It is recommended that this report is prepared after the monthly site
conferences.
The report should include the following information:

Safety issues summarise any safety issues occurring in the reporting month in traffic, construction,
work practices, site offices and interfacing with the community.

Contract costs - summarise the current costs against programmed costs; link to anticipated and actual
claims; link to Variation Orders issued (attach copy of the current Variation Order (CAF027M);

Includes Cultural Heritage Report (It is expected that in the future this will likely to be separate to the
Environmental Report)

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Contract Administration System

Procedure - CAP004M
Reports

Milestones completed scheduled and actual dates, summarise reasons for meeting and not meeting,
summarise forecasts of the status of future milestones;

Forecast of the critical or key programmed work (either on or likely to affect the programmed critical
path) for the next month with an estimate of the likelihood of completion;

Construction program summary of the critical path work items and any potential time delays likely to
affect work items on the critical path or items which may become critical and change the current
critical path;

Summarise any significant changes to the Contract risk profile (including the reduction or increases in
known risks and newly identified risks (refer to the Contractors risk register and Superintendents
Surveillance Plan, Appendix C Surveillance Risk Register (CAF001M);

Summarise mitigation measures proposed for new or increased risks and whether these are
Contractors or Principals risks (refer to the Contractors and Superintendents risk registers);

Summary of Contractors quality assurance system NCR issued, closed, outstanding, time
outstanding, repeat NCR, CAR issued by the Superintendent (refer to the Contractors NCR register
and the Corrective Action Request Register (CAF022M);

Status of Design Review Requests (refer to the Design Review Register (CAF023M));

If applicable, summarise the outcomes of the scoring for partnering for the month and proposed
actions to keep on target or improve where needed; and

Any other project specific issues regarding the Contract.

2.2

Environmental Report

The Contractor shall monitor, update and control its environmental management plan (construction).
The Contractor shall report environmental monitoring results, and analysis, incidents of environmental
nuisance, non-conformance list and corrective actions to the Superintendent at the frequency detailed in the
Contract.

2.3

Cultural Heritage Report

The Contractor will complete a cultural heritage report every month and submit to the Superintendent for
review. The report will, as a minimum, detail the cultural heritage related activities that have been completed
that month including any incidents or discoveries and how they have been addressed.

2.4

Contract Performance Report

The Superintendent, in collaboration with the Contractor, completes MRPDS, Volume 3 Major Works
Prequalification System, Appendix G, Performance Assessment Form (Form C6876) every month. The
report evaluates the performance of the Contractor for consideration by the prequalification committee as a
check to confirm a Contractors prequalification entitlement and provides data on a Contractors performance
history.
The final MRPDS, Volume 3 Major Works Prequalification System, Appendix G, Performance Assessment
Form (Form C6876) is to be completed within eight weeks of the issue of the Certificate of Practical
Completion (Form C6881).

2.4.1 Information required for the monthly report

The information for the report is normally collected during monthly meetings with the Contractor and includes
the following criteria:

Application of systems such as - construction safety, quality, traffic management, environment, cultural
heritage and community liaison plans;

Contractors team capability and experience management (of staff, plant, correspondence and
reports), technical skill levels appropriate to the construction of the Contract, cooperation;

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Contract Administration System

Superintendents team capability and experience management (of staff, correspondence and
reports), technical skill levels appropriate to the administration of the Contract, cooperation;

Partnering (See Partnering (CAP002M));

Claims/Variations refer to Claims and Variations (CAP007M), Claims Register (CAF024M) and
Variation Register (CAF026M); and

External considerations.

All completed and approved reports are sent to the Principal, Contractor and Principal Manager (Contracts)
within one week of the monthly site conference.
For more information regarding contract performance reports refer to Main Roads Project Delivery System
(MRPDS) Volume 3.

TERMINAL REPORTS

3.1

Performance Report on Design Consultant

The purpose of this report is to inform the Project Manager about the performance of the design consultant
and learnings from the design consultant contract. Reporting on the performance of the design consultant is
a two-stage process including:
1.

Part A report - after completion of the actual design phase of the consultant services; and

2.

Part B report - after implementation of the design as at completion of construction.

This procedure relates to Performance Report Consultant on Engineering Projects, Part B, After
Completion of Construction (C7563)
The purpose of the Part B report is to assess the constructability of the design as well as the performance
and cooperation of the design consultant in providing responses to Requests for Information and Design
Review Requests.
This report is to be completed by the officer delegated to manage and review the performance of the design
consultant but the input of the Superintendent into Part B is required. The report is to be discussed with the
consultant who is given the opportunity to respond in writing. The consultant's response should form part of
the report.
The report should be completed within two weeks of Practical Completion as mentioned in Clause 8.3.4 of
the Manual - Consultants for Engineering Projects (MCEP). This report should be made available for
discussion during the post construction conference.

3.2

Performance Report on Contract Administrators

Where an external Superintendent has been appointed as Contract Administrator a performance report is
required to be completed by the Principal (Refer to Manual Consultants for Engineering Projects, Part B
Performance Reports).2

For more information regarding this report see Manual Consultants for Engineering Projects.

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3.3

Procedure - CAP004M
Reports

Maintenance Report

The Maintenance Report (CAF009M) outlines issues on the project which are significant to the ongoing
maintenance of the Works following the issue of the Final Certificate (Form C6882) at the end of the Defects
Liability Period.
The landscaping works may have a separate Defects Liability Period to the main contract works and that
section of the works may have to be reported on at a different time to that of the main contract works.
The Superintendent is requested to forward this report to the Project Manager within two weeks of the issue
of the Final Certificate (Form C6882). The report includes information on the following aspects:

Erosion and sediment control - all temporary works for construction removed; all permanent works
installed as per the Contract (or as varied) and operating as designed; any failures outside the
Contract noted;

Drainage - all excess construction materials removed; inlets, outlets and culverts clear of debris;
surface drainage lines clear of debris; evidence of subsidence over culverts; evidence of scour around
culverts or other drainage structures; sub-soil drainage outlets clear; table drains to the correct profile,
grade and clear;

Earthworks formation works to the proper profile in width and batter slope (no scouring or damage);
no evidence of slips in cut or fill batters; no unplanned vegetation in formation or clearance areas; no
loose fill or rocks in the surface of cut and fill batters; batter protection to the required standard taking
fair wear and tear into consideration;

Subgrade and pavements pavement to the proper profile in width, crossfall and in the longitudinal
direction (no apparent frittering of edges, localised depressions or subsidences);

Landscaping to the required standard taking into account fair wear and tear ;

Structures - to the required standard taking into account fair wear and tear (including the vehicle
running surface); no concrete spalling; no signs of structural cracks; no signs of rust stains in concrete
or steel components;

Road furniture - signs, guide posts, guardrail and similar systems; pavement marking;

Street and intersection lighting, traffic signals, - all parts of the systems working including pedestrian
and vehicle actuation for signals; certification to The Electrical Safety Acts;

Public Utility Plant (where part of the Contract) - completed to the satisfaction of the relevant owner of
the public utility;

NCR and CAR - All reports closed out; and

Any other Contract specific issues.

3.4

Superintendents Final Report

Unless either the Principal or the Contractor serves a notice of dispute under Clause 47 Dispute Resolution,
of the General Conditions of Contract within 15 days of the issue of the Final Certificate (Form C6882) the
Superintendent prepares the Superintendents Final Report (CAF010M).
This report is to be completed within four weeks of the issue of the Final Certificate (Form C6882) and
includes the following information:

Details of the Contract summary of the key aspects from the Superintendents Surveillance Plan
(CAF001M);

Details of the design consultant refer to Performance Report Consultant on Engineering Projects,
Part B, After Completion of Construction (C7563)

Summary of all audits carried out by the Superintendant on the Contractors;

Summary of the Contractors quality assurance (NCR issued and closed out, rate of close out,
statistical calculations for results for embankment and pavement compactions, concrete and asphalt
tests and so on). Superintendents surveillance results (CAR issued and closed out, rate of close out);

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Department of Transport and Main Roads

Contract Administration System

Outstanding maintenance issues from the Maintenance Report (CAF009M);

Any outstanding issues such as safety audit issues; and

Recommendations and learnings for future projects.

The following appendices need to be attached with the report:

Surveillance Audit Summary; and

3.5

Asphalt Supplier Performance Report

The System for Registration of Approved Asphalt Suppliers, Appendix L, Attachment 1, Asphalt Supplier
Performance Report Form (Form MAS208) is only required for:

Contracts which involve more than 2000 tonnes of asphalt; or

Contracts of lesser quantity where a performance report is deemed suitable irrespective of whether
the asphalt supplier is the Contractor or a Subcontractor.

If the Contract has less than 2000 tonnes of asphalt work, the decision whether this report is required should
result from a meeting between the Superintendent, Contractor, Project Manager and the asphalt supplier.
The purpose of this report is to:

Ensure regular performance assessment of the asphalt work;

Determine the continuing suitability of the asphalt supplier for registration; and

Ensure continuous improvement of asphalt work.

The report should be prepared by the Superintendent and forwarded to the Project Manager. After dealing
with specific issues detailed in the report, the Principals Representative should forward the report with
comments (if required) to the Principal Chemist of the Pavements & Materials Division.
System for Registration of Approved Asphalt Suppliers, Appendix L, Attachment 1, Asphalt Supplier
Performance Report Form (Form MAS208): This form sets out the assessment criteria to be addressed by
the Superintendent when preparing the report. Assessment criteria should include the following:

Management systems such as quality, safety, environmental and traffic management;

Expertise of staff including supervising staff, operators and the suppliers management;

Suitability of equipment, manufacturing, handling and transport and paving;

Mix design;

Workmanship, preparation of surface or underlying lot, production lots and pavement lots;

Inspection and testing;

Project management; and

Management of subcontractors.

This report is required to be submitted within 14 days of the issue of the Certificate of Practical Completion
(Form C6881).
For more information refer to MRTS30, Dense Grade and Open Graded Asphalt Pavements and the System
for Registration of Asphalt Suppliers.

3.6

Road Safety Audit Report

The Road Safety Audit Report, which is arranged by the Project Manager, is to be completed within four
weeks of the anticipated Date for Practical Completion.
It is essential that this audit be conducted on the basis of the approved design and the original scope of work
in the approved business case. An audit which records a design safety issue must be referred back to the
Project Manager for further instruction. Any audit findings that impact upon the Works shall be considered
by the Superintendent.
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Contract Administration System

Procedure - CAP004M
Reports

The issues raised in the Road Safety Audit Report will be prioritised by the auditor based on risk. The aim is
to close out the highest priority issues raised in the report. Sometimes this is not possible in the timeframe
given and outstanding actions (generally design matters) need to be documented and actioned for closure by
others. For example, an audit which records a design safety issue needs to be referred back to the Project
Manager and possibly the design engineers for action and later remediation.
The Superintendent needs to consider the recommendations carefully and either arrange for them to be
implemented or provides a report back stating why the finding of the audit are not in the scope of the works.
It is likely that some corrective works could be part of the original scope of works but not completed
satisfactorily. In this instance, the Superintendent needs to issue an instruction to the Contractor defining the
requirements. Examples are line of sight at intersections hindered by vegetation not yet cleared or guardrail
heights not to specification.
Where the audit findings are considered to be necessary for safety reasons not originally foreseen during the
design, then the matter needs to be resolved. An example is a finding that a school bus stop should be
provided on a newly widened road contract. The matter needs to be resolved by the Project Manager and
the Principal.
Even though not originally foreseen during design, there is nevertheless a professional indemnity matter at
stake in that the auditor, having become aware of an issue which is considered unsafe, is bound to record it.
The consequences really lie with the Principal funding the improvements whenever possible. The
Superintendents response is to acknowledge the report and refer their findings3 back to the Principal.
Where corrective works may have to be requested to be completed by the Contractor, care needs to be
taken to ensure it is possible to issue a Variation Order (CAF027M) in the remaining timeframe while the
Contractor still has a presence on site. The pricing of this Variation Order (CAF027M) is likely to be of an
order higher than if the Variation Order (CAF027M) was priced during the Contract period.
As the potential for the results of a Road Safety Audit Report to cause last minute havoc are reasonable, the
earliest start and completion of the report is recommended to minimise its impact.

OTHER REPORTS

The following two reports should be prepared by the Project Manager with input by the Superintendent and
are included here for information for the Superintendent:

4.1

Post-Construction Report

This is the first terminal report due after completing the construction. It needs to be completed and
forwarded before the issue of the Final Certificate (Form C6882). The post-construction report should be
prepared by the Project Manager with the assistance of the Superintendent and forwarded to the Principals
Representative. It allows the Principals Representative to get a complete understanding of all aspects of the
construction before the issue of the Final Certificate (Form C6882).
Report should include information on the following:

Project details including project description and the contract type;

Project resources including the departmental and contract staff;

Details of the Contract, such as possession of site, date for and of completion, contract duration,
Extensions of Time for Practical Completion, projects costs should be given;

Construction aspects such as working platform, wearing course, pavement configuration and
screening sizes should be included;

Program and progress this should include the performance of the Contractor, design issues, public
relations and consultations, material resources, quality and financial performance; and

Areas requiring improvement the areas that should be discussed should include environment,
drainage, revegetation, provision for traffic, service issues, geotechnical and specifications.

This may include the potential for variations, remedial works, time and cost implications etc
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Contract Administration System

The report should include the following attachments:

Performance reports;

As-Constructed drawings;

Financial data;

Monitor registers; and

Any other relevant information.

Post Construction Report should be prepared in accordance with the template Post-Construction Report
(CAF012M).

4.2

Principals Quarterly Report

This report is to be prepared by the Project Manager with the assistance of the Superintendent and
forwarded to the Principals Representative. It will provide information for the Principals Representative to
assess the progress of the project and understand project issues. The report is required to be submitted on
quarterly intervals.
The report should include the following information:
1.

Project costs should include information on progress payments to date, approved variations, liquidated
damages, costs of Principal supplied material and works (by Project Manager) and departmental costs
by Project Manager;

2.

Project Status should include information such as Date of Letter of Acceptance, period for
construction, Date for Practical Completion, Extensions of Time for Practical Completion granted, Date
of Practical Completion, details of Liquidated Damages applied;

3.

Construction Program and progress with reasons for any delays;

4.

Project issues including claims, quality issues, design issues and weather information weather
information helps to deal with extension to time due to wet weather and any associated claims;

5.

Traffic matters including information on traffic incidents and actions taken to deal with them;

6.

Environmental matters including environmental incidents and actions taken to deal with them;

7.

Safety matters including Workplace Health and Safety incidents and actions taken to deal with them;

8.

Community liaison and external communication issues;

9.

Any other issues such as internal communication, staffing issues and records of community and
stakeholder contact.

The following appendices (if relevant) should be included with the report:

Extension of Time for Practical Completion Register;

Variation Register;

Corrective Action Request Register;

Contractors Cost Forecast; and

Contractors Construction Program.

Principals Quarterly Report (CAF011M) template should be used for this report.

SURVEILLANCE REPORTING

5.1

Review and Reporting General

Details of the surveillance reporting are contained in the monthly and final reports by the Superintendent.

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5.2

Procedure - CAP004M
Reports

Performance Measurement of Surveillance

While Contractor assessments are carried out as part of the departments requirements, it is also
recommended that the Project Manager undertake a review of the performance of the Superintendents
Surveillance Plan (CAF001M) and its implementation.
Success criteria listed in the template target the roles of the Superintendent in relation to development of a
surveillance plan and its effective implementation. (refer to Superintendents Surveillance Plan (CAF001M)
and Implementation of the Superintendents Surveillance Plan (CAP006M) Additional criteria may include:

Timely review of Contract and variations.

Timely and appropriate response to Contractor enquiry and variations.

Community (or other) project specific items (if applicable).

REFERENCE DOCUMENTS

Certificate of Practical Completion (Form C6881)

Claims and Variations (CAP007M)
Claims Register (CAF024M)
Clause 47 Dispute Resolution, of the General Conditions of Contract
Corrective Action Request Register (CAF002M)
Design Review Register (CAF023M)
Environmental Monthly Report (CAF008M)
Final Certificate (Form C6882)
Implementation of the Superintendents Surveillance Plan (CAP006M)
Main Roads Project Delivery System (MRPDS) Volume 3
Maintenance Report (CAF009M)
Manual - Consultants for Engineering Projects (MCEP)
MRPDS, Volume 3 Major Works Prequalification System, Appendix G, Performance Assessment Form
(Form C6876)
MRTS30, Dense Graded and Open Graded Asphalt Pavements
Partnering (CAP002M)
Performance Report Consultant on Engineering Projects, Part B, After Completion of Construction (C7563)
Post-Construction Report (CAF012M)
Principals Quarterly Report (CAF011M)
Road Safety Audit Policy and Guidelines, Appendix B RSA Report Template Pre-Opening, Construction and
Existing Road Stages
Superintendents Final Report (CAF010M)
Superintendents Monthly Report (CAF007M)
Superintendents Surveillance Plan (CAF001M)
System for Registration of Approved Asphalt Suppliers
System for Registration of Approved Asphalt Suppliers, Appendix L, Attachment 1, Asphalt Supplier
Performance Report Form (Form MAS208)
The Electrical Safety Acts
Variation Order (CAF027M)
Variation Register (CAF026M)

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